Guideline

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Guidelines on Internal Governance

EBA updated corporate governance guidelines

European Banking Authority revised guidelines on corporate governance. Further harmonize requirements for institutions' internal governance arrangements. processes and mechanisms across the EU, in line with the new requirements introduced in the Capital Requirements Directive (CRD IV) and also taking into account the proportionality principle.

Publisher: Regional Standard-Setting Bodies Release date: Sep 2017

Type: Guideline

Parent: Capital Requirements Directive - CRD IV

Topics: Corporate governance

Sectors: Banking

Preventing Terrorist Financing and Money Laundering in Electronic Fund Transfers

EBA, EIOPA, ESMA guidelines on detecting and preventing abuse of funds transfer mechanisms

European Banking Authority, European Insurance and Occupational Pensions Authority and European Securities and Markets Authority guidelines set out what payment service providers should do to detect and prevent the abuse of funds transfers for terrorist financing and money laundering purposes.

Publisher: Regional Standard-Setting Bodies Release date: Sep 2017

Type: Guideline

Peer: Guidelines on the Money Laundering and Terrorist Financing Risk, Mitigating the Risk of Money Laundering and Terrorist Financing

Topics: Money laundering and terrorist financing

Sectors: Banking, Insurance, Pensions, Securities

Regulation and Supervision of Mutuals, Cooperatives and Community-Based Organisations in Increasing Access to Insurance

IAIS guideline on applying Insurance Core principles to MCCOs while enhancing access to insurance

International Association of Insurance Supervisors guidance on applying insurance Core Principles (ICPs) in ways that contribute to proportionate regulation and supervision. Focuses on role of mutual, cooperatives and community-based organizations (MCCOs) in increasing access to insurance, particularly among disadvantaged people.

Publisher: Global Standard-Setting Bodies Release date: Sep 2017

Type: Guideline

Parent: Insurance Core Principles

Topics: Financial inclusion, Corporate governance, Capital adequacy, Licensing

Sectors: Insurance, Microinsurance

Enterprise-Wide Model Risk Management for Deposit-Taking Institutions

OSFI guideline on its expectations for policies and practices for enterprise-wide model risk management frameworks

Office of the Superintendent of Financial Institutions of Canada guideline establishes a common baseline understanding of OSFI's expectations of banks around the use of models enterprise-wide. Outlines prudent practices for internal model development, review, approval, use and modificationw and is applicable to all models that have a material impact on the bank's risk. Sets out expectations for banks to establish sound policies and practices for an enterprise-wide model risk management framework.

Publisher: National Regulators Release date: Sep 2017 Country: Canada

Type: Guideline

Topics: Risk management, Corporate governance

Sectors: Banking

Guiding Principles on the Internal Total Loss-Absorbing Capacity of G-SIBs

FSB guiding principles to support the implementation of internal TLAC and the ability to effect bail-in

Financial Stability Board guiding principles to support implementation of internal TLAC requirement in globally systemically important banks (G-SIBs), covering: i) process for identifying material sub-groups; ii) considerations relating to determination of the size of the internal TLAC requirement, its composition and trigger mechanism; and iii) cooperation and coordination between G-SIB home and key host authorities.

Publisher: Global Standard-Setting Bodies Release date: Jul 2017

Type: Guideline

Parent: Key Attributes of Effective Resolution Regimes for Financial Institutions

Peer: Principles on Loss-Absorbing and Recapitalisation of G-SIBs in Resolution , Continuity of Access to Financial Market Infrastructures for a Firm in Resolution, Principles on Bail-in Execution

Topics: Capital adequacy, Recovery and resolution, Systemically important financial institutions (SIFIs)

Sectors: Banking

Continuity of Access to Financial Market Infrastructures for a Firm in Resolution

FSB guidance addresses risk of a bank in resolution being unable to maintain access to clearing, payment, settlement and custody services

Financial Stability Board guidance to support continued access to financial market infrastructures (FMIs) by a firm in resolution. Arrangements apply at the level of providers of critical FMI services, at level of FMI participants and at level of relevant resolution and FMI authorities.

Publisher: Global Standard-Setting Bodies Release date: Jul 2017

Type: Guideline

Parent: Key Attributes of Effective Resolution Regimes for Financial Institutions

Peer: Guidance on Arrangements to Support Operational Continuity in Resolution, Guiding Principles on the Internal Total Loss-Absorbing Capacity of G-SIBs

Topics: Recovery and resolution, Systemically important financial institutions (SIFIs), Financial market infrastructure

Sectors: Banking

HKMA Supervisory Policy - Recovery Planning for Foreign Branches

HKMA guidance for overseas-incorporated banks with branch operations in Hong Kong

Hong Kong Monetary Authority guideline provides guidance for overseas-incorporated banks with branch operations in Hong Kong and smaller locally-incorporated banks for the preparation of recovery plans.

Publisher: National Regulators Release date: Jul 2017 Country: Hong Kong, China

Type: Guideline

Parent: HKMA Supervisory Policy - Recovery Planning

Peer: HKMA Supervisory Policy - Recovery Planning, Bank Culture Reform

Topics: Recovery and resolution, Crisis management and contingency planning

Sectors: Banking

Liability of Customers in Unauthorised Electronic Banking Transactions

RBI guidelines for determining customer liability for unauthorized electronic banking transactions

Reserve Bank of India guideline for determining liability of customers for unauthorized electronic banking transactions. Sets out systems and procedures banks must have in place, requires banks to ask customers to mandatorily register for SMS alerts and, wherever available, for e-mail alerts for electronic banking transactions, and sets out criteria for determining customer liability.

Publisher: National Regulators Release date: Jul 2017 Country: India

Type: Guideline

Topics: Consumer education and protection, Financial inclusion

Sectors: Banking

Recommendations of the Task Force on Climate-Related Financial Disclosures

FSB report on recommendations for helping businesses disclose climate-related financial information

Financial Stability Board Task Force on Climate-Related Financial Disclosures final report establishes recommendations for disclosing clear, comparable and consistent information about the risks and opportunities presented by climate change.

Publisher: Global Standard-Setting Bodies Release date: Jun 2017

Type: Guideline

Peer: Recommendations of the Task Force on Climate-Related Financial Disclosures , Phase 1 Report & Public Consultation of the Task Force on Climate-Related Financial Disclosures, Implementing the Recommendations of the Task Force on Climate-Related Financial Disclosures

Topics: Climate change , Risk management, Transparency and disclosure

Sectors: Banking, Insurance, Pensions, Securities

Guidelines on the Money Laundering and Terrorist Financing Risk

EBA, EIOPA and ESMA joint guidelines for financial institutions and AML/CFT supervisors

European Banking Authority, European Insurance and Occupational Pensions Authority, and European Securities and Markets Authority joint guidelines on anti-money laundering and countering the financing of terrorism (AML/CFT). Provide guidance on the factors financial institutions should consider when assessing the ML/TF risk associated with a business relationship or occasional transaction, and set out how financial institutions can adjust the extent of their customer due diligence measures to mitigate identified ML/TF risks.

Publisher: Regional Standard-Setting Bodies Release date: Jun 2017

Type: Guideline

Topics: Money laundering and terrorist financing

Sectors: Banking, Insurance, Pensions, Securities

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Resources

382 records

Guidelines on Internal Governance

Preventing Terrorist Financing and Money Laundering in Electronic Fund Transfers

Regulation and Supervision of Mutuals, Cooperatives and Community-Based Organisations in Increasing Access to Insurance

Enterprise-Wide Model Risk Management for Deposit-Taking Institutions

Guiding Principles on the Internal Total Loss-Absorbing Capacity of G-SIBs

Continuity of Access to Financial Market Infrastructures for a Firm in Resolution

HKMA Supervisory Policy - Recovery Planning for Foreign Branches

Liability of Customers in Unauthorised Electronic Banking Transactions

Guidelines on the Money Laundering and Terrorist Financing Risk

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